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Talk:Securities Exchange Act of 1934

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Registration of all broker dealers

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2/25/06: On the section dealing with NASD and NASDAQ, the reference goes: "the 34 Act requires the registration of 'virtually all' broker dealers, placing them under the direct oversight of the SEC and the oversight of the NASD." I thought, tho, that the 34 Act required the registration of 'all broker dealers,' or all people who in the language of the exchange act 'effect securities.' So while there is a narrow exception for a finder, they wouldn't, as a definitional matter, be a broker. So it's more appropriate to say that the 34 act requires the registration of all broker dealers, rather than 'virtually all.' Jahenderson 06:52, 9 March 2006 (UTC)[reply]

Also, NASD (I believe) has direct oversight of B/Ds. So that sentence should read: "NASD has direct oversight of B/Ds, with the SEC retaining appellate jurisdiction" or some language like that. Comments?Jahenderson 06:52, 9 March 2006 (UTC)[reply]

SHO Form

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I heard mention of a Regulation SHO form (apprx. 2 pages) some type of options forms which entitle those who have signed it to monies quarterly. I don't know anything more about it, but wondered if anyone could enlighten me on this. I believe it was part of the Securities and Exchange Act of 1934. Thanks.

Kathy Kirlin
kskmv3@yahoo.com —Preceding unsigned comment added by 68.96.69.201 (talk) 19:43, 7 November 2008 (UTC)[reply]

List of SROs

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FINRA is not the only SRO in operation. While it regulates 80% of aggregate trading, it is not the only SRO in the United States. The following is a list of SROs that operate/ have operated in the US. Note that of course NASD and the NYSE regulation arm are now defunct, but there are exchanges which dont fall under Finra
http://www.sec.gov/rules/sro.shtml —Preceding unsigned comment added by 64.211.40.22 (talk) 16:06, 6 September 2010 (UTC)[reply]

History missing

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Can we have someone add some history to the creation of the act. Who created it? FDR? — Preceding unsigned comment added by 207.228.15.21 (talk) 22:52, 11 November 2011 (UTC)[reply]

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